Form8.5(EPT/NON-RI)HARGREAVES LANSDOWN PLC Replace

FORM 8.5 (EPT/NON-RI)

This form amends RNS number 2958Q published at 11:30 on 29/05/2024, changes made to section 2a and 3a

PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY AN

EXEMPT PRINCIPAL TRADER WITHOUT RECOGNISED INTERMEDIARY ("RI") STATUS

(OR WHERE RI STATUS IS NOT APPLICABLE)

Rule 8.5 of the Takeover Code (the "Code")

1.

KEY INFORMATION

(a)

Name of exempt principal trader:

BARCLAYS CAPITAL SECURITIES LTD

(b)

Name of offeror/offeree in relation to whose relevant securities this form relates:

HARGREAVES LANSDOWN PLC

(c)

Name of the party to the offer with which exempt principal trader is connected

HARGREAVES LANSDOWN PLC

(d)

Date position held/dealing undertaken:

28 May 2024

(e)

In addition to the company in 1(b) above, is the exempt principal trader making disclosures in respect of any other party to the offer?

NO

2.

POSITIONS OF THE EXEMPT PRINCIPAL TRADER

(a)

Interests and short positions in the relevant securities of the offeror or offeree

to which the disclosure relates following the dealing (if any)

Class of relevant security:

0.4p ordinary

Interests

Short Positions

Number

(%)

Number

(%)

(1) Relevant securities owned and/or controlled:

847,669

0.18%

9,171,104

1.93%

(2) Cash-settled derivatives:

9,240,206

1.95%

636,500

0.13%

(3) Stock-settled derivatives (including options) and agreements to purchase/sell: 

0

0.00%

0

0.00%

TOTAL: 

10,087,875

2.13%

9,807,604

2.07%

(b)

Rights to subscribe for new securities (including directors and other executive options)

Class of relevant security in relation to which subscription right exists

Details, including nature of the rights concerned and relevant percentages:

3.

DEALINGS (IF ANY) BY THE EXEMPT PRINCIPAL TRADER

(a)

Purchase and sales

Class of relevant security

Purchase/sale

Total number of securities

Highest price per unit paid/received

Lowest price per unit paid/received

0.4p ordinary

Purchase

478728

11.0500 GBP

10.6550 GBP

0.4p ordinary

Sale

301598

11.0500 GBP

10.6550 GBP

(b)

Cash-settled derivative transactions

Class of relevant security

Product description

Nature of dealing

Number of reference securities

Price per unit

0.4p ordinary

CFD

Increasing Short

389

10.7103 GBP

0.4p ordinary

CFD

Increasing Short

19,888

10.7158 GBP

0.4p ordinary

CFD

Increasing Short

4,686

10.7364 GBP

0.4p ordinary

SWAP

Decreasing Short

6,107

10.8883 GBP

0.4p ordinary

SWAP

Decreasing Short

478

10.9858 GBP

0.4p ordinary

SWAP

Opening Long

1,397

10.7774 GBP

0.4p ordinary

SWAP

Decreasing Long

11

11.0254 GBP

0.4p ordinary

SWAP

Increasing Long

466

10.7128 GBP

0.4p ordinary

SWAP

Decreasing Long

3,545

10.7166 GBP

0.4p ordinary

SWAP

Decreasing Short

310

10.8830 GBP

0.4p ordinary

SWAP

Increasing Long

830

10.6595 GBP

0.4p ordinary

SWAP

Increasing Long

10,397

10.7150 GBP

0.4p ordinary

SWAP

Decreasing Long

5,857

10.8594 GBP

0.4p ordinary

SWAP

Increasing Short

314

10.9700 GBP

0.4p ordinary

SWAP

Increasing Long

2,678

10.8432 GBP

0.4p ordinary

SWAP

Increasing Long

24,195

10.8836 GBP

0.4p ordinary

SWAP

Increasing Long

804

10.8965 GBP

0.4p ordinary

SWAP

Increasing Long

143

11.0000 GBP

0.4p ordinary

SWAP

Decreasing Long

29,577

10.7167 GBP

0.4p ordinary

SWAP

Decreasing Long

28,399

10.7180 GBP

0.4p ordinary

SWAP

Decreasing Long

34,835

10.7973 GBP

0.4p ordinary

SWAP

Decreasing Long

1,200

10.8258 GBP

0.4p ordinary

SWAP

Increasing Long

12,150

10.7149 GBP

0.4p ordinary

SWAP

Increasing Long

756

10.8023 GBP

0.4p ordinary

SWAP

Decreasing Long

28,795

10.7150 GBP

0.4p ordinary

SWAP

Decreasing Long

14,525

10.7350 GBP

0.4p ordinary

SWAP

Decreasing Long

44,969

10.7388 GBP

0.4p ordinary

SWAP

Decreasing Long

16,564

10.8568 GBP

0.4p ordinary

SWAP

Decreasing Long

22,948

10.8858 GBP

0.4p ordinary

SWAP

Decreasing Long

2,785

10.9598 GBP

0.4p ordinary

SWAP

Decreasing Long

8,458

10.9841 GBP

0.4p ordinary

SWAP

Decreasing Long

270

10.7029 GBP

0.4p ordinary

SWAP

Decreasing Long

876

10.8303 GBP

0.4p ordinary

SWAP

Decreasing Long

584

10.9178 GBP

0.4p ordinary

SWAP

Decreasing Long

2,063

10.9233 GBP

0.4p ordinary

SWAP

Decreasing Long

1,161

10.9572 GBP

0.4p ordinary

SWAP

Decreasing Long

2,289

10.9839 GBP

0.4p ordinary

SWAP

Decreasing Long

1,843

10.9917 GBP

0.4p ordinary

SWAP

Decreasing Long

5,272

11.0002 GBP

0.4p ordinary

SWAP

Decreasing Short

800

10.9460 GBP

0.4p ordinary

SWAP

Increasing Short

1,525

10.7158 GBP

0.4p ordinary

SWAP

Decreasing Short

1,115

10.8804 GBP

0.4p ordinary

SWAP

Decreasing Short

2,989

10.8884 GBP

0.4p ordinary

SWAP

Decreasing Short

232

10.9857 GBP

0.4p ordinary

SWAP

Opening Long

163

10.7101 GBP

0.4p ordinary

SWAP

Increasing Long

2,691

10.9176 GBP

0.4p ordinary

SWAP

Increasing Long

25,430

10.8687 GBP

0.4p ordinary

SWAP

Increasing Long

253

10.9950 GBP

0.4p ordinary

SWAP

Decreasing Long

32,118

10.7150 GBP

0.4p ordinary

SWAP

Decreasing Long

9,237

10.9839 GBP

(c)

Stock-settled derivative transactions (including options)

(i)

Writing, selling, purchasing or varying

Class of relevant security

Product description

Writing, purchasing, selling, varying etc

Number of securities to which option relates

Exercise price per unit

Type

Expiry date

Option money paid/ received per unit

(ii)

Exercising

Class of relevant security

Product description

Exercising/ exercised against

Number of securities

Exercise price per unit

(d)

Other dealings (including subscribing for new securities)

Class of relevant security

Nature of Dealings

Details

Price per unit (if applicable)

4.

OTHER INFORMATION

(a)

Indemnity and other dealings arrangements

Details of any indemnity or option arrangement, or any agreement or understanding, formal or informal, relating to relevant securities which may be an inducement to deal or refrain from dealing entered into by the exempt principal trader making the disclosure and any party to the offer or any person acting in concert with a party to the offer:

NONE

(b)

Agreements, arrangements or understandings relating to options or derivatives

Details of any agreement, arrangement or understanding, formal or informal, between the exempt principal trader making the disclosure and any other person relating to: (i) the voting rights of any relevant securities under any option; or (ii) the voting rights of future acquisition or disposal of any relevant securities to which any derivative is referenced:

NONE

(c)

Attachments

Is a Supplemental Form 8 (Open Positions) attached?

NO

Date of disclosure:

19 Mar 2025

Contact name:

Large Holdings Regulatory Operations

Telephone number:

020 3134 7213